ANNEX I INFORMATION TO BE PROVIDED IN THE APPLICATION FOR AUTHORISATION

(a)

the full name of the applicant, the address of its registered office within the Union, the applicant’s website and, where available, the applicant’s legal entity identifier (LEI);

(b)

the name and contact details of a contact person at the applicant;

(c)

the legal status of the applicant;

(d)

the ownership structure of the applicant;

(e)

the identity of entities within the ownership structure of the applicant that will provide ESG ratings or any of the activities listed in Article 16(1);

(f)

the identity of the members of the senior management of the applicant and their level of qualification, experience and training;

(g)

the number of rating analysts, employees and other persons working for the applicant who are directly involved in ESG rating activities, and their level of experience and training;

(h)

the expected market coverage of ESG ratings;

(i)

a description of the procedures and methodologies used to issue and review ESG ratings implemented by the applicant, whether the applicant expects to use information disclosed under Regulation (EU) 2019/2088 and Directive 2013/34/EU, and whether the applicant expects to use methodologies that are based on scientific evidence and takes into account the targets and objectives of the Paris Agreement or any other relevant international agreements;

(j)

the policies or procedures implemented by the applicant to identify, manage and disclose any conflicts of interest as referred to in Article 15 of this Regulation;

(k)

where applicable, documents and information related to any existing or planned outsourcing arrangements for activities covered by this Regulation;

(l)

where applicable, information about other activities, including expected endorsement, carried out by the applicant, or which the applicant intends to carry out;

(m)

where applicable, information about the specific measures implemented by the applicant as referred to in Article 16(2) and (3) of this Regulation;

(n)

where applicable, information about previous ESG rating activities.